The black swan was meant to be a rallying cry for preparedness. Instead it has become the opposite: a loathsome excuse for lack of planning by those who should know better.
Advisers are lagging banks and retail brokerages when it comes to providing useful tools on smart phones and tablets — and the average investor notices it.
When it comes to brokerage firm websites, designed to inform investors about their transactions, one of the first things one would think they'd get right would be providing them with their account information. Apparently, they don't.
The justices today turned away an appeal by 17 current and former company financial advisers who sought to press a class action race-discrimination suit against Merrill Lynch.
The U.S. Consumer Financial Protection Bureau is seeking public comment on financial products aimed especially at members of the military.
Even 3,000 miles away, Tim Pinkney, an adviser with the Savant Group in Citrus Heights, Calif., deeply felt the shock waves of 9/11
Three former executives of defunct brokerage GunnAllen Financial Inc. agreed to pay $55,000 to settle government allegations that they failed to protect confidential customer information as the firm was going under.
Consolidation in the securities industry continues to build, with regional broker-dealer and clearing firm Sterne Agee & Leach of Birmingham making an offer to buy SWS Group Inc. of Dallas.
Less than 24 hours after revealing that they had received an unsolicited takeover proposal from the Sterne Agee Group Inc., officials for SWS Group Inc. — a Dallas-based firm with several hundred advisers—unanimously rejected the offer.
Agency finalizes controversial rule calling for level-fee arrangements; new scheme also greenlights computer models
Investigations heat up as DOL said to be investigating retirement plan and participant fee disclosure; reps possibly classified as fiduciaries
Plenty, according to state regulators. They say recent exams revealed that advisers are increasingly attaching 'RIA' after their signatures as it were an earned designation. It isn't -- and doing so violates the rules | <b>Extra </b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20110923&Category=FREE&ArtNo=923009999&Ref=PH>The 10 states with the most CPAs</a>
Even a puny rise in interest rates will slam current holders of U.S. debt; inflationary shock 'a high probability'
The Headhunter wonders why Sallie Krawcheck's departure registered as an earth shattering day in the history of the retail brokerage business.
The number of investment advisers registered with the Securities and Exchange Commission has fallen for the first time in 10 years, while the assets that they manage have increased sharply, according to a report released last week
Advisers hoping to broach the topic of annuities with clients ought to step back from product features and focus on the greater context of longevity protection.
